Post on 18-Dec-2021
Briefing for NRC Headquarters
on NEI 16-07 “Improving the Effectiveness of Issue
Resolution to Enhance Safety and Efficiency”
August 16, 2017
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Purpose of today’s meeting
• Brief NRC stakeholders on the origins and contents of NEI 16-07
• Hear and respond to NRC stakeholder questions and concerns
• Discuss path forward and next steps - For industry - For NRC
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Origins – The Haystack Problem • CAP originally applied to conditions adverse to
quality (a small haystack) • In that small haystack, significant items were
relatively easy to recognize and manage • Over time, CAP became a catch-all for tracking
everything that needed attention (a large haystack) • In that overgrown haystack, important items were
more difficult to recognize and accord the right level of attention and effort
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Origins – CNO Recognition • CNOs recognized the haystack problem • The first effort to address it was INPO 14-004 (November
2014), aimed at improving screening and focus • DNP Improvement Opportunity CAP-01 [EB 16-10, March
2016], said implement INPO 14-004 • DNP Improvement Opportunity CAP-02 [EB 17-14, May
2017], aims at standardizing terms and processes, simplifying tools and clarifying guidance for tailoring effort to significance
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Origins – Charge to the CAP-02 Team • Maintain low threshold for initial entry into CAP, to
ensure employees report all conditions and concerns • Maintain CAP focus on CAQ/SCAQ (Appendix B
items) • Maintain focus on regulatory matters of importance
(items outside Appendix B) • Tailor level of investigation and causal analysis to the
significance of the problem • Address business-risk issues through other
appropriate systems
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Industry Milestones • Release NEI 16-07 May 2017 • Brief utility and NRC stakeholders
- RUG II – Completed June 20 - RUG IV – Completed July 12 - NRC Headquarters – August 16 - RUG III – October 24 - RUG I – November 28
• Update NEI 16-07 with feedback from briefings and comments and reissue as “Final” – early 2018
• Implement DNP EB 17-14 – May 2018
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CAP-02 Development Team • Executive Sponsors
- Danny Bost – Southern - Dan Stoddard – Dominion - Kelvin Henderson - Duke
• Industry Lead - John Grabnar – FENOC
• INPO - Gary Waldrep
• IBEW - Anna Jerry
• NEI - David Young, Jim Slider
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• Industry Members - Wally Beck – Exelon - Brad Castiglia – NextEra - Nick Conicella - FENOC - Dan Crofoot – Xcel - Joel Duhon - Duke - Sharon Peavyhouse – Duke - Reiko Perleberg – Southern - Rex Putnam – Entergy - Lanny Ratzlaff – Wolf Creek - Jim Schleser – Dominion - Tim Steele – Southern
Guiding Philosophy
Achieving the highest levels of safety and reliability requires high levels of efficiency and effectiveness
• Maintain low threshold for condition reporting and feedback to originators
• Improve timeliness and effectiveness of problem resolution by eliminating low-value process controls and administrative requirements - Promote greater focus on conditions affecting safety and operational
performance - Standardize reporting, screening and processing to reduce
administrative and management review time - Afford leaders with more time to spend in the field observing work
and coaching improvements
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Related Work • As noted earlier, NEI 16-07 builds on previous CAP
initiative (DNP CAP-01) • CAP-01 was about improving screening efficiency to
highlight the safety significant needles in a smaller hay stack
• CAP-02 standardizes around a common language and investigation tools – it’s the next logical step
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What Will Change for Licensees • Population of items in CAP will be better defined • Many items will be addressed at find-and-fix level,
depending on perceived risk • CARC protects and maintains industry commitments
underlying the ROP (e.g., SECY-99-007 and NRC Enforcement Policy section 2.3.2)
• Industry-wide templates will be used for Equipment Failure, Human Performance, and Organizational issues
• Conditions outside the scope of CAP will be addressed through management action
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What Will Not Change for Licensees • Low threshold for reporting remains unchanged • Safety-related and important-to-safety equipment
conditions and issues of regulatory significance will continue to be managed in CAP
• CAQs must be identified and corrected • SCAQs must have cause determined corrective actions
taken to preclude repetition • Information system(s) for tracking CAP entries will
remain as the central clearinghouse for status
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What May Change for NRC • Inspectors may need to look outside CAP data system
to confirm screening has been appropriate and that CAQ and CARC are appropriately addressed
• With the emphasis on “find and fix”, inspectors may find less documentation of formal investigation and analysis of items of lesser significance
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What Should Not Change for NRC • Effectiveness of the licensee’s CAP program • Basis for crediting licensee’s CAP in NRC’s decision-
making processes (e.g., Enforcement Policy and ROP-based supplemental inspections)
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CAP Process Changes
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All Is sues
Non-CAP IssuesCAP Issues
Signi ficant Conditions Adverse to Quali ty
Appendix B Conditions Adverse to Quali ty
Conditions Adverse to Regulatory
Com pl ianc e
Definitions • Significant Condition Adverse to Quality (SCAQ): A condition adverse
to quality that, if left uncorrected, could have a serious effect on nuclear safety.
• Condition Adverse to Quality: A failure, malfunction, deficiency, deviation, defect, or nonconformance associated with the performance of an activity affecting the safety-related function of a structure, system or component.
• Condition Adverse to Regulatory Compliance: A condition where the licensee is not in conformance with NRC regulations, inspection or enforcement processes (such as the Reactor Oversight Process), a failure to comply with a docketed commitment made to the NRC, a non-compliance with the licensee Quality Assurance program that does not consequently affect nuclear safety. Conditions Adverse to Regulatory Compliance are addressed with licensee corrective action programs. Appendix A provides some examples to enhance understanding.
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Issue Resolution Process
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Issue Resolution Process
Criteria for an Approved Process • A program document or procedure describes the process • The process identifies conditions that require generation of a CR • Process controls:
- Provide for identifying conditions that require a prompt review by Control Room staff (e.g., for operability, functionality and reportability determinations)
- Prioritize and track work based on risk to nuclear safety and equipment reliability
- Ensure that the work performed is traceable - Ensure that canceling, extending or changing the intent of work that is a
corrective action includes the same level of review as established the original action
- Provide for generation and retention of action/work completion documentation suitable for QA record purposes
• Management oversight is in place to monitor performance of the process
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Graded Approach to Investigations
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Cause Uncertainty
Cause is Clear Cause is Ambiguous or Complex
Risk
High Consequence
• Issue Investigation
• Correct Condition and Cause
• Root Cause Analysis
• Correct Condition and Cause
Medium Consequence
• Document Known Cause
• Correct Condition
• Issue Investigation
• Correct Condition and Cause
Low Consequence
• No Investigation
• Correct Condition
• Investigation Optional
• Correct Condition
General Guidance on Conducting Root Cause Investigations
• We expect the numbers of root cause investigations to be reduced – removing business items
• Format is largely unchanged – there are reasons why we did what we did in the past (Extent of Condition, Safety Analysis, Nuclear Safety Culture, etc.)
• Can use existing tools and techniques • Root Causes will be required for White or greater
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Investigation Templates
• Equipment Reliability Checklist – - Developed by ERWG, INPO - Base Template does not include ICES tags but user
templates do
• Human Performance Checklist – - Developed by HU Working Group, INPO - Based on TWIN model and others
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Investigation Templates
• Organizational Effectiveness Checklist - Developed by OR Working Group, INPO - Based on Management Systems model and INPO
15-005 Leadership and Teamwork Effectiveness - There is intentional overlap between HU and OR
checklists
• Maintenance Rule Checklist - Special Case and developed by MRWG
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Management Action
• N-CAP issues • Allows for resolution within a tool but outside
of CAP • Business-type issues at manager level
discretion
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Appendix A – Defines some Examples
• Significant Condition Adverse to Quality • Condition Adverse to Quality • Condition Adverse to Regulatory Compliance • Non-Corrective Action Program Conditions
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Change Management
• Utilities should evaluate their current QA program definitions to determine if changes need to be made - CAQ, SCAQ
• Screening process changes – procedure changes, evaluate roles / responsibilities
• Software changes should NOT be required • Communications to key audiences (General Workforce,
CAP Screening, Supervisors and Managers) • Discussions with Resident Inspectors
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Other NRC Concerns
• Active discussion with regulators at HQ and regions - Concerns about protecting the SCWE and
reporting culture - Concerns about supervisory engagement and
action (for N-CAP issues) - Concerns about definitions (SCAQ) - Concerns about investigations for important issues
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Questions
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For More Information
• John Grabnar – FENOC, CAP-02 Team Lead - jjgrabnar@firstenergycorp.com
• Tim Steele – Southern, Subject Matter Expert - tssteele@southernco.com
• Jim Slider – NEI, Senior Project Manager - jes@nei.org
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